September 29, 2014
September 28, 2014
September 27, 2014
FINRA's Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time
The Financial Industry Regulatory Authority issued frequently asked questions (FAQs) in connection with FINRA firms being required to submit new data elements for Electronic Blue Sheets (EBS) to correspond with the implementation of Rule 13h-1 under the Securities and Exchange Act of 1934 (SEC Large Trader Reporting Rule). FINRA updated the FAQs to, among other things, clarify that although under the SEC Large Trader Reporting Rule order execution time is required only for NMS securities, firms will be required to populate the Order Execution Time field for non-NMS securities (i.e., fixed income, options and other non-NMS securities) by May 1, 2013.
Click here to read the FAQs.
<span class="advertise"> Advertisement </span>
- SEC Awards $30 Million to Overseas Whistleblower
- Update on ESMA Clearing Obligations for Credit Default Swaps - European Securities and Markets Authority
- Organisation of Economic Co-operation and Development (OECD) Publishes Initial Recommendations on BEPS (Base Erosion and Profit Sharing)
- SEC Obtains Asset Freeze of Turks and Caicos Company Conducting Ponzi Scheme
- SEC Releases Strategic Plan for 2014–2018
- Further Changes to Form CPO-PQR and Form CTA-PR - Commodity Pool Operators